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Chartered Accountant with 24 years of experience in financial services industry in setting up and handling systems and processes for Operations division of private banking / wealth management firms and handling functions like Compliance, Internal Audits, Risk & Control, Finance & Accounts, Project Management & Execution and Change ManagementSpecialties: PMS Operations, Wealth Operations, Compliance, Risk & Control, Internal Audit, operational risk, project management, internal control, finance, capital markets, audit, portfolio accounting
Electrum Portfolio Managers Pvt Ltd
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Director - Head Of Operations And ComplianceElectrum Portfolio Managers Pvt LtdMumbai, Mh, In
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Director - Head Of Operations & ComplianceElectrum Portfolio Managers Pvt Ltd Jul 2021 - PresentMumbai, Maharashtra, India• Responsible for handling entire Back-Office Operations function of Wealth Management business including Portfolio Management Services• Ensuring seamless execution of client’s investment transactions within defined TATs and with zero error rate• Supervising adherence to firm’s policies and procedures to ensure no adverse observations in periodic internal audits, assurance reviews and regulatory inspections • Responsible for proper allocation of work amongst team members, guide and train them for new processes / activities• Handling project management function like setting up new system for back-office, digital on-boarding system and improving Operations efficiency through automation of manual initiatives• Provide prompt support to Front Office by ensuring timely deliverables to clients, resolving their questions and queries• In-charge of Compliance function by taking care of regulatory compliances of PMS & Wealth businesses including obtaining regulatory registrations, adhering due diligence requirements of client KYC on-boarding, regulatory reporting, drafting of policies for various processes and ensuring its smooth implementation • Handling additional charge of functions like Risk & Control, Finance & Accounts to support senior management in achieving the goals of the organization
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Head - Wealth Management OperationsBnp Paribas Wealth Management Aug 2018 - Jul 2021Mumbai, Maharashtra, India• Responsible for Back-Office Operations function of Wealth Management business including Portfolio Management Services• Ensuring compliance to various BNP policies and procedures, regulatory compliances with the target of no adverse observation in periodic internal audits and control testing• Responsible for proper allocation of work amongst team of 12 members, guide and train them for new processes / activities and ensure seamless execution of client’s investment transactions with zero error rate and within defined TATs• In-charge of automation of manual activities for improving Operations efficiency• Responsible for checking of internal controls and processes of BNP group companies as part of Internal Audit department of BNP Paribas India Solutions (From December 2020 to July 2021) -
Head - Wealth OperationsJm Financial Nov 2015 - Aug 2018Mumbai Area, India• Responsible for entire back office of Wealth Operations supporting Wealth Management business including Portfolio Management Services• Handling team of 18 members and ensuring proper allocation of work amongst team, guiding and training them for new processes / activities, monitoring adherence to defined TATs for all processes• Responsible for change management function by handling projects / initiatives which enhances client experience like improved client portfolio reporting, PMS pooled execution, reducing TAT of sending monthly portfolio reporting, processing of mutual fund trades via direct code • Responsible for improving Operations efficiency through automation of manual activities and process improvements• Complying with SEBI rules & regulations and liasoning with external agencies like auditors, custodians, banks -
Assistant Vice President OperationsBarclays Wealth And Investment Management Aug 2008 - Nov 2015Mumbai Area, India• Responsible for set-up of on-shore wealth management platform of PMS Operations including writing of end-to-end Operations procedures with a focus on building adequate controls around Operations procedures to mitigate risk • Handling entire portfolio accounting of PMS / Wealth Operations including recording of corpus, settlement of trades with broker and custodian, processing of mutual fund trades, booking of 3rd party products like Alternatives, NAV updation, corporate action monitoring, reconciliations, fixed / performance fee calculation, compliance with SEBI rules and regulations • Handling role of Change Management and successfully completed projects like PMS pooled execution, appointment of custodian for Portfolio Manager and advisory fee computation system• Responsible for Business Support function which includes client portfolio reporting, solving client queries and be-spoke reporting -
ControllerQuest Investment Advisors 2005 - 2008Mumbai Area, India• Handling independently PMS Operations including execution and allocation of trades, settlement of trades with custodian, periodic client portfolio reporting and complying with SEBI rules and regulations • Responsible for setting up systems and processes for PMS Operations including SEBI registration and back-office accounting / administration • Controller function for Finance & Accounts department i.e. monitoring, supervision and finalization of accounts, preparation of statutory returns under Income Tax Act, Companies Act and Service Tax Act
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AuditorManek & Associates 2000 - 2005Mumbai, Maharashtra, India• Responsible for audit planning from preparation of audit programme till finalization of audit including preparation of internal and statutory audit reports like CARO, Tax Audit Report etc.• Leading teams of audit / article clerks at various audit assignments • Internal, Statutory and Tax Audits of Corporates, Partnership Firms and Individuals• Inspection Audits of Share Brokers
Uday Thakkar Skills
Uday Thakkar Education Details
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Finance, Tax, Audit, Accountancy -
P.D. Lions Dalmia CollegeFirst
Frequently Asked Questions about Uday Thakkar
What company does Uday Thakkar work for?
Uday Thakkar works for Electrum Portfolio Managers Pvt Ltd
What is Uday Thakkar's role at the current company?
Uday Thakkar's current role is Director - Head of Operations and Compliance.
What is Uday Thakkar's email address?
Uday Thakkar's email address is ud****@****mfl.com
What is Uday Thakkar's direct phone number?
Uday Thakkar's direct phone number is +120163*****
What schools did Uday Thakkar attend?
Uday Thakkar attended The Institute Of Chartered Accountants Of India, P.d. Lions Dalmia College.
What are some of Uday Thakkar's interests?
Uday Thakkar has interest in Poverty Alleviation, Children, Education, Health.
What skills is Uday Thakkar known for?
Uday Thakkar has skills like Portfolio Management, Banking, Finance, Auditing, Capital Markets, Process Improvement, Equities, Mutual Funds, Management, Internal Audit, Financial Analysis, Accounting.
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Uday Thakkar
"Driving Profitable Growth Strategies: Empowering Businesses, Elevating Success."Mumbai -
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